DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Uncommon Cents Investing
Legal name Uncommon Cents Investing, Inc
Latest filing Aug 25, 2026
First filing on the tape Sep 22, 2017 · 25 filings
SEC status approved since Oct 20, 2017
RAUM
$520M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$514M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$520M as of Aug 25, 2026
Jan 11, 2018$170M then
HNW client RAUM$306M as of Aug 25, 2026
Jan 11, 2018$40.1M then
State-registered IARs (5.B.3)0 as of Aug 25, 2026
Jan 11, 20180 then
Employees (5.A)3 as of Aug 25, 2026
Jan 11, 20182 then
Private funds: no history
RAUM +24% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $463,513derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $220M, 470 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$306M59%
- Individuals$208M40%
- Pension and profit-sharing plans$5.5M1.1%
- Individual clients
- 441reported
- HNW clients
- 148reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,121reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $220M for 470 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Sheena Marie HansonCertified Financial Planner | Janesville, Wi | Oct 31, 2017 | 19 y | 2 |
| John D Berkley | Janesville, Wi | Oct 31, 2017 | 49 y | 1 |
| Gregory Alan Snyder | Janesville, Wi | May 24, 2018 | 17 y | 0 |
| Kristy L Jorgensen | Janesville, Wi | Sep 11, 2026 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Marissa Ann Evers to Retirement Income Strategies, LLCJun 8, 2022 · RIA to RIA
Joined, latest
- Kristy L Jorgensen from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 11, 2026 · Wirehouse to independent RIA
- John D Berkley from Sii Investments, Inc.Oct 31, 2017 · Other
- Sheena Marie Hanson from Investment Centers Of America, Inc.Oct 31, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Sheena Hanson · Managing Member, Chief Compliance Officercontrolsince 09/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Janesville, Wi · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Legal name · UNCOMMON CENTS INVESTING, LLC to UNCOMMON CENTS INVESTING, INCFeb 23, 2026 to May 29, 2026
- Organization form · Limited Liability Company to CorporationFeb 23, 2026 to May 29, 2026
- Individual clients · 474 to 441Jan 31, 2025 to Feb 23, 2026
- Assets in custody · unset to 219950579.0Jan 31, 2025 to Feb 23, 2026
- Custody of client assets · false to trueJan 31, 2025 to Feb 23, 2026
- Discretionary RAUM · $411M to $514MJan 31, 2025 to Feb 23, 2026
- HNW RAUM · $205M to $306MJan 31, 2025 to Feb 23, 2026
- Individual RAUM · $207M to $208MJan 31, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $6.0M to $5.5MJan 31, 2025 to Feb 23, 2026
- Pension RAUM · $6.0M to $5.5MJan 31, 2025 to Feb 23, 2026
- RAUM · $417M to $520MJan 31, 2025 to Feb 23, 2026
- Accounts · 1,059 to 1,121Jan 31, 2025 to Feb 23, 2026
- HNW clients · 103 to 148Jan 31, 2025 to Feb 23, 2026
- Accounts · 1,011 to 1,059Jul 11, 2024 to Jan 31, 2025
- HNW clients · 83 to 103Jul 11, 2024 to Jan 31, 2025
- Individual clients · 470 to 474Jul 11, 2024 to Jan 31, 2025
- Assets in custody · 7346623.0 to unsetJul 11, 2024 to Jan 31, 2025
- Custody of client assets · true to falseJul 11, 2024 to Jan 31, 2025
- Financial planning clients · 1-10 to 1-10Jul 11, 2024 to Jan 31, 2025
- Discretionary RAUM · $353M to $411MJul 11, 2024 to Jan 31, 2025
- HNW RAUM · $160M to $205MJul 11, 2024 to Jan 31, 2025
- Individual RAUM · $193M to $207MJul 11, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $4.6M to $6.0MJul 11, 2024 to Jan 31, 2025
- Pension RAUM · $4.6M to $6.0MJul 11, 2024 to Jan 31, 2025
- RAUM · $358M to $417MJul 11, 2024 to Jan 31, 2025
- Assets in custody · unset to 7346623.0Feb 13, 2024 to Feb 27, 2024
- Custody of client assets · false to trueFeb 13, 2024 to Feb 27, 2024
- Accounts · 937 to 1,011Oct 6, 2023 to Feb 13, 2024
- Advisory activities · 2 to 3Oct 6, 2023 to Feb 13, 2024
- HNW clients · 188 to 83Oct 6, 2023 to Feb 13, 2024
- Individual clients · 354 to 470Oct 6, 2023 to Feb 13, 2024
- Pension plan clients · 3.0 to unsetOct 6, 2023 to Feb 13, 2024
- Financial planning clients · 0 to 1-10Oct 6, 2023 to Feb 13, 2024
- Discretionary RAUM · $310M to $353MOct 6, 2023 to Feb 13, 2024
- HNW RAUM · $195M to $160MOct 6, 2023 to Feb 13, 2024
- Individual RAUM · $115M to $193MOct 6, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $4.4M to $4.6MOct 6, 2023 to Feb 13, 2024
- Pension RAUM · $4.4M to $4.6MOct 6, 2023 to Feb 13, 2024
- RAUM · $314M to $358MOct 6, 2023 to Feb 13, 2024
- Accounts · 858 to 937Jun 22, 2022 to Feb 13, 2023
Signals
2 dated events
- Marissa Ann Evers left Uncommon Cents Investing for Retirement Income Strategies, Llc (registered 2022-09-27)Jun 8, 2022 · Advisor changed firm · fact
- Uncommon Cents Investing filed its initial SEC registration (Form ADV)Sep 22, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 608-563-2437reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/uncommon-cents-investingreportedpublic record, Form ADV, Sep 17, 2026
- Website
- UNCOMMONCENTSINVESTING.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 608-563-2437reportedpublic record, Form ADV, Aug 25, 2026
- Team page
- UNCOMMONCENTSINVESTING.COM/about-us/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026